Become a Compliance Manager with Gusto, specializing in Broker-Dealer and Investment Adviser oversight. This position emphasizes compliance management and AI integration.In this key role within Gusto's Compliance Team, you will assume responsibility for operational compliance across RIA and BD entities, reporting to the Compliance Lead. Your expertise will ensure the compliance programs are robust, regulated, and ready for scrutiny, allowing you to engage with both strategic oversight and direct execution of compliance measures.Key Responsibilities:Execute state registration obligations for complianceManage employee registration including U4 filingsOwn the compliance calendar and track the deadlinesLead compliance program reviews covering multiple areasOversee electronic communications and advertising complianceRequirements:5+ years of compliance experience with broker-dealersDeep knowledge of SEC and FINRA rulesHands-on experience with compliance technologiesActive licenses: SIE, Series 7, and Series 24Strong skills in documenting compliance effortsDrive compliance innovation within Gusto, enhancing regulatory frameworks while leveraging AI tools effectively.#J-18808-Ljbffr

📌 Compliance Manager For Financial Services At Gusto (Hastings County)
🏢 Gusto
📍 Hastings County